SEC Releases COVID-19 Compliance Risks and Considerations for IAs and BDs
In a release on August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations identified specific COVID-19-related issues, risks, and practices relevant to investment
Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19
Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19.” Wednesday, June 3, 2020 2:00-3:00 p.m. EDT Online via
SEC Exam Focus Updates 2020
We have had several clients who have had SEC exams recently despite the social distancing measures in place across the United States. Yes, they were
Working From Home
COVID-19 has forced a new, global reality upon us. The breadth has yet to be fully comprehended. One of the new realities is the significant
Chief Compliance Officer Roundtable: Breakfast Briefing – February 25, 2020
When: February 25, 2020 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th Floor New York, NY Our New York office has moved from
OCIE’s 2020 NATIONAL EXAM PROGRAM PRIORITIES
With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commission”) Office of Compliance Inspections and Examinations (“OCIE”) shared the National Exam Program
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
Today the SEC Division of Enforcement released its 2019 Annual Report for the fiscal year ended this past September. The recap shows that enforcement actions
Disclosure Can Be SO Scary
SEC staff recently published their FAQs regarding financial conflicts and adviser compensation. While not carrying the full weight of formal rulemaking, the guidance provides useful
SEC3 Updates
SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018’s Share Class Selection Disclosure Initiative and a broader look
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2 (PDF)
OCIE RISK ALERT – Insight Into Supervision Related Expectations
Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest (“
D&O Liability Insurance Considerations for Financial Institutions
PRACTICE NOTE: D&O Liability Insurance Considerations for Financial Institutions (PDF)
